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Bennett Thrasher
On August 23, 2023, the Securities and Exchange Commission (SEC) agreed on amendments to the Investment Advisers Act of 1940 (Advisers Act) in order to enhance regulation to private fund advisers and...
Jones Day
Under the Sarbanes-Oxley Act, 18 U.S.C. § 1514A, no public company "may discharge, demote, suspend, threaten, harass, or in any other manner discriminate against an employee"...
K&L Gates
Earlier this year, the US Securities and Exchange Commission approved 11 spot Bitcoin ETFs. In Hong Kong, in view of rapid developments of virtual asset (VA) products and growing investment products...
Akin Gump Strauss Hauer & Feld LLP
On February 9, 2024, the U.S. Securities and Exchange Commission (SEC) announced its latest round of settlements associated with "off-channel" communications.
K&L Gates
As the year gets underway, the Securities and Exchange Commission (SEC or Commission) is continuing its ongoing enforcement efforts to target anti-whistleblower practices...
Barnes & Thornburg
On Jan. 24, 2024, the Securities and Exchange Commission (SEC) adopted new rules aimed to enhance protections in initial public offerings (IPOs) made by special purpose acquisition companies...
Winston & Strawn LLP
For the past several years, many private companies looking to "go public" utilized special purpose acquisition companies (SPACs) instead of traditional...
Goodwin Procter LLP
FINRA members can voluntarily elect to participate by June 30, 2024. The Pilot Program is likely the first step toward FINRA permanently approving...
Cooley LLP
Yesterday, in remarks at Yale Law School, SEC Chair Gary Gensler talked about the opportunities and challenges of AI. According to Gensler, while AI "opens up tremendous...
Foley Hoag LLP
In October 2023, the SEC adopted final amendments to Regulation 13D-G and Regulation S-T to modernize the beneficial ownership reporting regime under Sections 13(d)...
Member David Adams and Associates Edmund Daley and Christopher D'Aliso co-authored an article in Law360 discussing the implications...
Steptoe LLP
The Justice Department recently, quietly unsealed an indictment that some mainstream and crypto media platforms quickly picked up and reported as charges that "solved" the mystery of a $400 million theft...
Rich May
SEC-registered investment advisers are subject to an array of reporting and compliance obligations in order to maintain registered investment adviser status.
Winston & Strawn LLP
On February 6, 2024, the Securities and Exchange Commission ("SEC") in a 3-2 vote adopted new Rules 3a5-4 and 3a44-2 (collectively, the "New Rules"), which expand the definition of a "dealer"...
Winston & Strawn LLP
The Northwestern Pritzker School of Law hosted its 51stannual Securities Regulation Institute from January 22, 2024 to January 24, 2024 in Coronado, California.
Thompson Coburn LLP
As we enter the second proxy season under the Universal Proxy Rules, it has become ever more important for companies to understand the Universal Proxy Rules...
Foley Hoag LLP
On February 6, 2024, the U.S. Securities and Exchange Commission ("SEC") issued an updated FAQ for investment advisers relating to SEC Rule 206...
Katten Muchin Rosenman LLP
On February 8, the SEC and CFTC jointly adopted amendments to Form PF, the confidential reporting form for certain registered investment advisers to private funds.
Katten Muchin Rosenman LLP
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.
Cadwalader, Wickersham & Taft LLP
A number of climate-related initiatives continue to emerge from Europe: last Wednesday, Members of the European Parliament agreed to delay sector-specific requirements of the European...
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